SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1991-92 NASD broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to assist members in reviewing, reconciling, and
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved an amendment that adds a new section to Part I of Schedule C to the NASD By-Laws requiring members to provide notification in writing
SUGGESTED ROUTING*
Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective August 1, 1989, the requirement to report daily price and volume in non-NASDAQ over-the-counter equity securities ("non-NASDAQ securities") pursuant to Schedule H to the NASD By-Laws was extended to the entire
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to add a new section to Part I of Schedule C to the
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the first quarter of 1988. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed tos NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
Notice Number
Date
Topic
88-1
January 4, 1988
Proposed Amendments to
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-11 Notification provisions for brokers and dealers.
This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12, registered
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, October 21, 1986, 12 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,602. These 12 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
TO: All NASD Members and Other Interested Persons
ATTN: TRAINING DIRECTORS AND REGISTRATION PERSONNEL
The Qualifications Committee of the NASD Board of Governors is pleased to announce that starting on August 1, 1986, the Financial and Operations Principal Examination (Series 27) will be administered on the PLATO system. Currently, Series 27 is administered as a written examination on the third
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThe purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice (see Attachment A) have been nominated for three-
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
